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Hong Kong SFC licensed institution AAJ984
Deutsche Securities Asia Limited
德意志證券亞洲有限公司

Below are up to 1000 licences that were found for SFC-licensed institution AAJ984 on the SFC website.

Key for Role: RE = Respresentative, RO = Responsible Officer

SFC code English name Chinese name Role Activity Start date End date
AAA119 ARCULLI Kim Melanie RE Dealing in Securities 2004-03-05 2005-05-25
AAA119 ARCULLI Kim Melanie RE Advising on Securities 2004-03-05 2005-05-25
AAB005 WOO Lam Hay 胡林熙 RE Dealing in Securities 2003-04-01 2007-07-21
AAB005 WOO Lam Hay 胡林熙 RE Advising on Securities 2003-04-01 2004-04-16
AAB005 WOO Lam Hay 胡林熙 RE Advising on Corporate Finance 2003-04-01 2004-01-08
AAB005 WOO Lam Hay 胡林熙 RE Asset Management 2003-04-01 2004-01-08
AAC292 LAU Chi Chiu, Marcus 劉志超 RE Dealing in Securities 2010-08-16 2012-09-05
AAC292 LAU Chi Chiu, Marcus 劉志超 RE Providing Automated Trading Services 2010-08-16 2012-09-05
AAC292 LAU Chi Chiu, Marcus 劉志超 RE Dealing in Futures Contracts 2010-08-16 2012-09-05
AAC359 COOK Stuart Harrington RE Dealing in Securities 2011-06-07 2018-04-17
AAC359 COOK Stuart Harrington RE Advising on Securities 2011-06-07 2015-02-03
AAC359 COOK Stuart Harrington RE Providing Automated Trading Services 2011-06-07 2015-02-03
AAE138 HO To, Alan 何鍍 RE Dealing in Securities 2005-10-03 2007-04-11
AAG780 NARAIN Ravi RE Advising on Securities 2003-04-01 2010-03-24
AAG780 NARAIN Ravi RE Dealing in Securities 2003-04-01 2010-03-24
AAG780 NARAIN Ravi RE Advising on Corporate Finance 2003-04-01 2004-01-08
AAG780 NARAIN Ravi RE Asset Management 2003-04-01 2004-01-08
AAI318 LI Siu Sing, Nelson 李紹成 RE Advising on Securities 2003-04-01 2009-06-13
AAI318 LI Siu Sing, Nelson 李紹成 RE Dealing in Securities 2003-04-01 2009-06-13
AAI318 LI Siu Sing, Nelson 李紹成 RE Asset Management 2003-04-01 2004-01-08
AAI318 LI Siu Sing, Nelson 李紹成 RE Advising on Corporate Finance 2003-04-01 2004-01-08
AAJ464 HIL Chi Yung 許志勇 RE Dealing in Securities 2011-10-18 2015-02-28
AAJ464 HIL Chi Yung 許志勇 RO Dealing in Securities 2003-04-01 2011-10-18
AAJ464 HIL Chi Yung 許志勇 RO Advising on Corporate Finance 2003-04-01 2004-01-08
AAJ464 HIL Chi Yung 許志勇 RO Asset Management 2003-04-01 2004-01-08
AAJ464 HIL Chi Yung 許志勇 RO Advising on Securities 2003-04-01 2004-01-08
AAV369 LI Sau Han, Ester Joyse 李秀嫻 RE Advising on Securities 2003-04-01 2006-07-10
AAV369 LI Sau Han, Ester Joyse 李秀嫻 RE Dealing in Securities 2003-04-01 2006-07-10
AAV369 LI Sau Han, Ester Joyse 李秀嫻 RE Advising on Corporate Finance 2003-04-01 2004-01-08
AAV369 LI Sau Han, Ester Joyse 李秀嫻 RE Asset Management 2003-04-01 2004-01-08
AAV422 WONG Wah Lam 黃華林 RE Dealing in Securities 2007-10-03 2008-07-18
AAV864 WONG Sek Ming, Paul 黃錫明 RO Dealing in Securities 2014-05-26 2018-05-09
AAV864 WONG Sek Ming, Paul 黃錫明 RO Advising on Securities 2014-05-26 2018-05-09
AAV864 WONG Sek Ming, Paul 黃錫明 RE Providing Automated Trading Services 2010-09-09 2015-01-26
AAV864 WONG Sek Ming, Paul 黃錫明 RE Dealing in Securities 2010-09-09 2014-05-26
AAV864 WONG Sek Ming, Paul 黃錫明 RE Advising on Securities 2010-09-09 2014-05-26
ABE464 CHAPLOW Richard Simon RE Advising on Securities 2003-04-01 2004-03-19
ABE464 CHAPLOW Richard Simon RE Dealing in Securities 2003-04-01 2004-03-19
ABE464 CHAPLOW Richard Simon RE Advising on Corporate Finance 2003-04-01 2004-01-08
ABE464 CHAPLOW Richard Simon RE Asset Management 2003-04-01 2004-01-08
ABL850 LAW Kin Fat 羅建發 RE Advising on Securities 2011-06-10 2012-09-05
ABL850 LAW Kin Fat 羅建發 RE Providing Automated Trading Services 2011-06-10 2012-09-05
ABL850 LAW Kin Fat 羅建發 RE Dealing in Securities 2011-06-10 2012-09-05
ABM128 CHRISTIANAKIS Leonidas Ioannis RE Dealing in Futures Contracts 2004-09-15 2006-02-28
ABM128 CHRISTIANAKIS Leonidas Ioannis RE Dealing in Securities 2004-09-15 2006-02-28
ABM977 NORRIS Jeremy Anthony RE Dealing in Securities 2003-04-01 2005-05-26
ABM977 NORRIS Jeremy Anthony RE Advising on Securities 2003-04-01 2004-04-16
ABM977 NORRIS Jeremy Anthony RE Asset Management 2003-04-01 2004-01-08
ABM977 NORRIS Jeremy Anthony RE Advising on Corporate Finance 2003-04-01 2004-01-08
ABN099 TSANG Yee Mai 曾綺薇 RE Dealing in Securities 2003-04-01 2010-03-11
ABN099 TSANG Yee Mai 曾綺薇 RE Dealing in Futures Contracts 2006-06-20 2010-03-11
ABN099 TSANG Yee Mai 曾綺薇 RE Advising on Securities 2003-04-01 2004-04-17
ABN099 TSANG Yee Mai 曾綺薇 RE Asset Management 2003-04-01 2004-01-08
ABN099 TSANG Yee Mai 曾綺薇 RE Advising on Corporate Finance 2003-04-01 2004-01-08
ABQ525 BUGEL Michael Bartus RE Advising on Securities 2010-08-17 2012-06-13
ABQ525 BUGEL Michael Bartus RE Dealing in Securities 2010-08-17 2012-06-13
ABR921 CHENG Hang Lam, Maggie 鄭杏琳 RE Dealing in Securities 2003-07-15 2003-10-07
ABS524 CAI Hong Ping 蔡洪平 RE Advising on Corporate Finance 2012-03-05 2015-02-28
ABS687 CHAN Wai Ling 陳慧玲 RE Dealing in Securities 2003-05-05 2008-05-03
ABS687 CHAN Wai Ling 陳慧玲 RE Advising on Securities 2003-05-05 2004-02-02
ABS687 CHAN Wai Ling 陳慧玲 RE Asset Management 2003-05-05 2004-01-08
ABS687 CHAN Wai Ling 陳慧玲 RE Advising on Corporate Finance 2003-05-05 2004-01-08
ABT506 CHAN Chun Ho, Kelvin 陳鎮浩 RE Dealing in Securities 2007-10-05 2008-03-04
ABW697 NICHOL William Stewart RE Advising on Corporate Finance 2012-03-05 2016-06-01
ACB812 WONG Kin, Kenneth 黃健 RO Dealing in Securities 2003-04-01 2004-06-12
ACB812 WONG Kin, Kenneth 黃健 RO Dealing in Futures Contracts 2004-01-08 2004-06-12
ACB812 WONG Kin, Kenneth 黃健 RO Advising on Futures Contracts 2004-01-08 2004-06-12
ACB812 WONG Kin, Kenneth 黃健 RO Advising on Securities 2003-04-01 2003-09-23
ACB812 WONG Kin, Kenneth 黃健 RO Asset Management 2003-04-01 2003-09-23
ACB812 WONG Kin, Kenneth 黃健 RO Advising on Corporate Finance 2003-04-01 2003-09-23
ACC217 LIU Sum Ching 廖心澄 RE Dealing in Securities 2003-04-01 2005-01-07
ACC217 LIU Sum Ching 廖心澄 RE Advising on Securities 2003-04-01 2005-01-07
ACC217 LIU Sum Ching 廖心澄 RE Dealing in Futures Contracts 2004-06-24 2005-01-07
ACC217 LIU Sum Ching 廖心澄 RE Advising on Corporate Finance 2003-04-01 2004-01-08
ACC217 LIU Sum Ching 廖心澄 RE Asset Management 2003-04-01 2004-01-08
ACC653 LO Chi Wa, Ricky 羅志華 RE Dealing in Securities 2003-04-01 2010-03-11
ACC653 LO Chi Wa, Ricky 羅志華 RE Dealing in Futures Contracts 2006-06-21 2010-03-11
ACC653 LO Chi Wa, Ricky 羅志華 RE Advising on Securities 2003-04-01 2004-04-16
ACC653 LO Chi Wa, Ricky 羅志華 RE Asset Management 2003-04-01 2004-01-08
ACC653 LO Chi Wa, Ricky 羅志華 RE Advising on Corporate Finance 2003-04-01 2004-01-08
ACD934 CROSBIE-WALSH Gordon Michael RE Advising on Securities 2003-04-01 2006-07-31
ACD934 CROSBIE-WALSH Gordon Michael RE Dealing in Securities 2003-04-01 2006-07-31
ACD934 CROSBIE-WALSH Gordon Michael RE Asset Management 2003-04-01 2004-01-08
ACD934 CROSBIE-WALSH Gordon Michael RE Advising on Corporate Finance 2003-04-01 2004-01-08
ACE500 KHANNA Punit RE Dealing in Securities 2003-04-01 2008-12-12
ACE500 KHANNA Punit RE Advising on Securities 2003-04-01 2008-12-12
ACE500 KHANNA Punit RE Advising on Corporate Finance 2003-04-01 2004-01-08
ACE500 KHANNA Punit RE Asset Management 2003-04-01 2004-01-08
ACI718 GOODWIN Hannah Victoria RE Dealing in Securities 2003-04-01 2005-03-29
ACI718 GOODWIN Hannah Victoria RE Advising on Securities 2003-04-01 2004-04-17
ACI718 GOODWIN Hannah Victoria RE Asset Management 2003-04-01 2004-01-08
ACI718 GOODWIN Hannah Victoria RE Advising on Corporate Finance 2003-04-01 2004-01-08
ACJ627 YANG Hoi Ti, Heidi 楊凱蒂 RO Advising on Corporate Finance 2012-03-07
ACK248 WU Ke, Isabella 吳柯 RE Dealing in Securities 2003-04-01 2004-04-23
ACK248 WU Ke, Isabella 吳柯 RE Advising on Securities 2003-04-01 2004-04-16
ACK248 WU Ke, Isabella 吳柯 RE Asset Management 2003-04-01 2004-01-08
ACK248 WU Ke, Isabella 吳柯 RE Advising on Corporate Finance 2003-04-01 2004-01-08
ACL001 TSE Bun, Benjamin 謝彬 RE Dealing in Securities 2003-04-01 2006-12-29
ACL001 TSE Bun, Benjamin 謝彬 RE Advising on Securities 2003-04-01 2004-04-16
ACL001 TSE Bun, Benjamin 謝彬 RE Asset Management 2003-04-01 2004-01-08
ACL001 TSE Bun, Benjamin 謝彬 RE Advising on Corporate Finance 2003-04-01 2004-01-08
ACN472 THOMAS Dean RE Dealing in Futures Contracts 2007-02-09
ACN472 THOMAS Dean RE Dealing in Securities 2007-02-09
ACN472 THOMAS Dean RE Providing Automated Trading Services 2010-06-24 2013-03-06
ACN988 LI Zemin 李則旻 RE Advising on Corporate Finance 2012-05-24 2012-06-02
ACR744 MCQUEEN Lee Michael RE Dealing in Futures Contracts 2009-08-12 2010-04-29
ACR744 MCQUEEN Lee Michael RE Dealing in Securities 2009-08-12 2010-04-29
ACR753 SANGHI Keshav krishna RE Advising on Securities 2003-04-01 2003-09-01
ACR753 SANGHI Keshav krishna RE Dealing in Securities 2003-04-01 2003-09-01
ACR753 SANGHI Keshav krishna RE Asset Management 2003-04-01 2003-09-01
ACR753 SANGHI Keshav krishna RE Advising on Corporate Finance 2003-04-01 2003-09-01
ACS947 WHITE Christopher James RE Dealing in Securities 2004-07-19 2014-11-18
ACU419 LAI Yuk Fai, David 賴玉輝 RE Dealing in Securities 2004-07-02 2017-02-07
ACU447 MILLER Daniel Owen 但米勒 RO Dealing in Securities 2003-04-01 2009-02-28
ACU447 MILLER Daniel Owen 但米勒 RO Advising on Securities 2005-05-27 2009-02-28
ACU447 MILLER Daniel Owen 但米勒 RO Advising on Corporate Finance 2003-04-01 2004-01-08
ACU447 MILLER Daniel Owen 但米勒 RO Asset Management 2003-04-01 2004-01-08
ACU447 MILLER Daniel Owen 但米勒 RO Advising on Securities 2003-04-01 2004-01-08
ACU882 NG Ka Hing 伍家興 RE Dealing in Securities 2003-04-01 2005-05-10
ACU882 NG Ka Hing 伍家興 RE Dealing in Futures Contracts 2004-06-24 2005-05-10
ACU882 NG Ka Hing 伍家興 RE Advising on Securities 2003-04-01 2004-04-16
ACU882 NG Ka Hing 伍家興 RE Asset Management 2003-04-01 2004-01-08
ACU882 NG Ka Hing 伍家興 RE Advising on Corporate Finance 2003-04-01 2004-01-08
ACU891 LAI Wai Tsz 黎慧慈 RE Dealing in Securities 2007-05-25 2018-06-21
ACU891 LAI Wai Tsz 黎慧慈 RE Dealing in Futures Contracts 2007-05-25 2018-06-21
ACW239 LEE Fai Man 李輝敏 RE Dealing in Securities 2010-07-22 2012-02-16
ACX120 LING Kin Shun, Anne 林建純 RE Advising on Securities 2004-11-30 2007-11-07
ACX715 CHU Chi Yan, Brian 朱智仁 RE Dealing in Futures Contracts 2010-09-15
ACX715 CHU Chi Yan, Brian 朱智仁 RO Dealing in Securities 2015-01-15
ACX715 CHU Chi Yan, Brian 朱智仁 RE Dealing in Securities 2010-09-15 2015-01-15
ACX715 CHU Chi Yan, Brian 朱智仁 RE Providing Automated Trading Services 2010-09-15 2013-03-06
ACZ555 KUO Cheung 郭強 RO Dealing in Securities 2012-08-09 2016-08-23
ACZ555 KUO Cheung 郭強 RO Dealing in Futures Contracts 2012-08-09 2016-08-23
ACZ555 KUO Cheung 郭強 RE Dealing in Futures Contracts 2011-06-14 2012-08-09
ACZ555 KUO Cheung 郭強 RE Dealing in Securities 2011-06-14 2012-08-09
ACZ968 LI Wai Lim, Lambda 李慧濂 RE Dealing in Securities 2007-04-27 2010-04-14
ADA734 DAY Christopher Elliott Verco 狄圖發 RE Dealing in Securities 2005-08-22 2006-04-04
ADA734 DAY Christopher Elliott Verco 狄圖發 RE Dealing in Securities 2004-07-28 2004-09-14
ADA784 LU Gloria Yi 陸奕 RE Dealing in Securities 2003-06-03 2007-08-01
ADA784 LU Gloria Yi 陸奕 RE Advising on Securities 2004-02-02 2007-08-01
ADA784 LU Gloria Yi 陸奕 RE Advising on Corporate Finance 2003-09-17 2004-01-08
ADA865 FENNELL Nicholas Peter RO Dealing in Securities 2003-04-01 2003-06-12
ADA865 FENNELL Nicholas Peter RO Advising on Corporate Finance 2003-04-01 2003-06-12
ADA865 FENNELL Nicholas Peter RO Asset Management 2003-04-01 2003-06-12
ADA865 FENNELL Nicholas Peter RO Advising on Securities 2003-04-01 2003-06-12
ADB589 WOO Mei Wah 吳美華 RE Dealing in Securities 2003-04-01 2006-08-11
ADB589 WOO Mei Wah 吳美華 RE Advising on Securities 2003-04-01 2004-04-17
ADB589 WOO Mei Wah 吳美華 RE Asset Management 2003-04-01 2004-01-08
ADB589 WOO Mei Wah 吳美華 RE Advising on Corporate Finance 2003-04-01 2004-01-08
ADB786 CHAK Wing Kai, Alan 翟永基 RE Dealing in Securities 2003-04-01 2004-04-23
ADB786 CHAK Wing Kai, Alan 翟永基 RO Advising on Futures Contracts 2004-01-08 2004-04-23
ADB786 CHAK Wing Kai, Alan 翟永基 RO Dealing in Futures Contracts 2004-01-08 2004-04-23
ADB786 CHAK Wing Kai, Alan 翟永基 RE Asset Management 2003-04-01 2003-09-22
ADB786 CHAK Wing Kai, Alan 翟永基 RE Advising on Corporate Finance 2003-04-01 2003-09-22
ADB786 CHAK Wing Kai, Alan 翟永基 RE Advising on Securities 2003-04-01 2003-09-22
ADC059 SUEN Ming Chit 孫明哲 RE Advising on Securities 2004-03-30 2010-08-14
ADC059 SUEN Ming Chit 孫明哲 RE Dealing in Securities 2004-03-30 2010-08-14
ADC285 SILVEIRA Ashley RE Asset Management 2003-04-01 2003-09-01
ADC285 SILVEIRA Ashley RE Dealing in Securities 2003-04-01 2003-09-01
ADC285 SILVEIRA Ashley RE Advising on Corporate Finance 2003-04-01 2003-09-01
ADC285 SILVEIRA Ashley RE Advising on Securities 2003-04-01 2003-09-01
ADH472 FAN Sik Ling, Jacqueline 范惜玲 RE Dealing in Securities 2003-04-01 2005-04-11
ADH472 FAN Sik Ling, Jacqueline 范惜玲 RE Advising on Securities 2003-04-01 2004-04-16
ADH472 FAN Sik Ling, Jacqueline 范惜玲 RE Asset Management 2003-04-01 2004-01-08
ADH472 FAN Sik Ling, Jacqueline 范惜玲 RE Advising on Corporate Finance 2003-04-01 2004-01-08
ADH562 CHAN Susan Wai-lan 陳蕙蘭 RE Dealing in Futures Contracts 2011-09-05 2013-04-10
ADH562 CHAN Susan Wai-lan 陳蕙蘭 RE Dealing in Securities 2011-09-05 2013-04-10
ADI662 YANG Angus Sheau Yu 楊曉瑜 RO Dealing in Securities 2018-06-07
ADI662 YANG Angus Sheau Yu 楊曉瑜 RO Dealing in Futures Contracts 2018-06-07
ADI662 YANG Angus Sheau Yu 楊曉瑜 RO Providing Automated Trading Services 2019-04-25
ADI662 YANG Angus Sheau Yu 楊曉瑜 RE Dealing in Securities 2017-09-12 2018-06-07
ADI662 YANG Angus Sheau Yu 楊曉瑜 RE Dealing in Futures Contracts 2017-09-12 2018-06-07
ADJ352 LEE Ming Keung 李明強 RE Dealing in Securities 2003-12-09 2005-05-03
ADJ352 LEE Ming Keung 李明強 RE Dealing in Futures Contracts 2004-06-24 2005-05-03
ADJ624 LEE Chun Wang 李俊宏 RE Dealing in Securities 2003-04-30 2004-07-28
ADJ624 LEE Chun Wang 李俊宏 RE Advising on Securities 2003-04-30 2004-02-02
ADJ624 LEE Chun Wang 李俊宏 RE Advising on Corporate Finance 2003-04-30 2004-01-08
ADJ624 LEE Chun Wang 李俊宏 RE Asset Management 2003-04-30 2004-01-08
ADJ799 YAU Sheung Kam 邱湘琴 RE Dealing in Securities 2003-04-01 2004-09-14
ADJ799 YAU Sheung Kam 邱湘琴 RE Advising on Securities 2003-04-01 2004-04-16
ADJ799 YAU Sheung Kam 邱湘琴 RE Asset Management 2003-04-01 2004-01-08
ADJ799 YAU Sheung Kam 邱湘琴 RE Advising on Corporate Finance 2003-04-01 2004-01-08
ADJ822 SANCHEZ Marlon Mikhail RO Advising on Securities 2011-01-04
ADJ822 SANCHEZ Marlon Mikhail RO Dealing in Securities 2011-01-04
ADJ822 SANCHEZ Marlon Mikhail RO Dealing in Futures Contracts 2018-12-20
ADJ822 SANCHEZ Marlon Mikhail RE Dealing in Futures Contracts 2006-06-26 2018-12-20
ADJ822 SANCHEZ Marlon Mikhail RO Providing Automated Trading Services 2012-03-13 2016-04-05
ADJ822 SANCHEZ Marlon Mikhail RE Providing Automated Trading Services 2010-06-23 2012-03-13
ADJ822 SANCHEZ Marlon Mikhail RE Dealing in Securities 2006-06-26 2011-01-04
ADK738 MAK Winnie 麥蔚誼 RE Advising on Securities 2005-04-04 2005-07-22
ADM064 LIEW Ivy 劉愛雯 RE Dealing in Securities 2013-02-18
ADM569 LU Amanda Xiao Qiang 路小強 RE Advising on Corporate Finance 2012-03-05 2012-04-01
ADN955 NOLAN Brian Patrick RO Advising on Securities 2003-04-01 2003-06-01
ADO886 MORTON Peter Douglas RE Advising on Corporate Finance 2012-03-05 2015-05-19
ADQ008 LAUNGANI Neel RE Advising on Corporate Finance 2017-10-23
ADQ849 TANG Wing Sze, Wincy 鄧穎施 RE Dealing in Securities 2005-05-20 2007-04-30
ADR493 CHAN Chi Ho, Ron 陳志豪 RE Dealing in Futures Contracts 2007-03-29 2010-08-04
ADR493 CHAN Chi Ho, Ron 陳志豪 RE Dealing in Securities 2007-03-29 2010-08-04
ADS225 CHIN Kong Yew RE Dealing in Securities 2007-04-03 2008-12-05
ADS722 HAN Chia-Lei 韓嘉蕾 RE Dealing in Securities 2006-05-08 2008-06-23
ADT188 LU Hue Thi RE Dealing in Futures Contracts 2007-08-03 2012-06-13
ADT188 LU Hue Thi RE Dealing in Securities 2007-08-03 2012-06-13
ADT336 TUCKWELL Zachary Scott RE Dealing in Securities 2008-09-08 2009-09-22
ADT374 MOREIRA Nicholas Hubert RE Advising on Futures Contracts 2011-12-16
ADT374 MOREIRA Nicholas Hubert RE Advising on Securities 2011-12-16
ADT374 MOREIRA Nicholas Hubert RO Dealing in Securities 2012-12-13
ADT374 MOREIRA Nicholas Hubert RE Dealing in Futures Contracts 2013-06-18
ADT374 MOREIRA Nicholas Hubert RO Dealing in Futures Contracts 2012-12-13 2013-06-18
ADT374 MOREIRA Nicholas Hubert RE Dealing in Securities 2011-12-16 2012-12-13
ADT374 MOREIRA Nicholas Hubert RE Dealing in Futures Contracts 2011-12-16 2012-12-13
ADU559 LI Ka Pui, Annette 李嘉珮 RE Dealing in Securities 2003-04-01 2004-02-01
ADU559 LI Ka Pui, Annette 李嘉珮 RE Advising on Securities 2003-04-01 2004-02-01
ADU559 LI Ka Pui, Annette 李嘉珮 RE Advising on Corporate Finance 2003-04-01 2004-01-08
ADU559 LI Ka Pui, Annette 李嘉珮 RE Asset Management 2003-04-01 2004-01-08
ADV127 BERTRAND Caroline RE Advising on Securities 2003-04-01 2005-03-04
ADV127 BERTRAND Caroline RE Dealing in Securities 2003-04-01 2005-03-04
ADV127 BERTRAND Caroline RE Asset Management 2003-04-01 2004-01-08
ADV127 BERTRAND Caroline RE Advising on Corporate Finance 2003-04-01 2004-01-08
ADV313 PRIMHAK Warren Lee RO Dealing in Securities 2003-04-01 2006-12-31
ADV313 PRIMHAK Warren Lee RO Advising on Securities 2003-04-01 2004-01-08
ADV313 PRIMHAK Warren Lee RO Advising on Corporate Finance 2003-04-01 2004-01-08
ADV313 PRIMHAK Warren Lee RO Asset Management 2003-04-01 2004-01-08
ADV780 LONG Tien Ian 龍田淵 RO Advising on Corporate Finance 2012-03-26 2014-06-14
ADY095 HOONG Yik Luen 洪逸倫 RE Dealing in Securities 2003-05-29 2009-01-01
ADY095 HOONG Yik Luen 洪逸倫 RE Advising on Securities 2004-02-02 2009-01-01
ADY095 HOONG Yik Luen 洪逸倫 RE Asset Management 2003-04-01 2003-04-17
ADY095 HOONG Yik Luen 洪逸倫 RE Advising on Corporate Finance 2003-04-01 2003-04-17
ADY095 HOONG Yik Luen 洪逸倫 RE Dealing in Securities 2003-04-01 2003-04-17
ADY095 HOONG Yik Luen 洪逸倫 RE Advising on Securities 2003-04-01 2003-04-17
ADY323 CHIANG Ming Zuei Charles 江明叡 RE Dealing in Securities 2003-04-01 2006-03-06
ADY323 CHIANG Ming Zuei Charles 江明叡 RE Dealing in Futures Contracts 2004-06-24 2006-03-06
ADY323 CHIANG Ming Zuei Charles 江明叡 RE Advising on Securities 2003-04-01 2004-04-16
ADY323 CHIANG Ming Zuei Charles 江明叡 RE Advising on Corporate Finance 2003-04-01 2004-01-08
ADY323 CHIANG Ming Zuei Charles 江明叡 RE Asset Management 2003-04-01 2004-01-08
ADZ442 CHOW Ka Ching, Jimmy 周家正 RE Dealing in Securities 2006-08-16 2017-08-31
ADZ442 CHOW Ka Ching, Jimmy 周家正 RE Dealing in Futures Contracts 2006-08-16 2017-08-31
ADZ914 BRIXEN Scott Bradley RE Dealing in Securities 2007-11-09 2014-01-30
AEA620 CHUNG Jeffrey Jin Wook RE Advising on Securities 2003-04-01 2014-04-10
AEA620 CHUNG Jeffrey Jin Wook RE Dealing in Securities 2003-04-01 2014-04-10
AEA620 CHUNG Jeffrey Jin Wook RE Advising on Corporate Finance 2003-04-01 2004-01-08
AEA620 CHUNG Jeffrey Jin Wook RE Asset Management 2003-04-01 2004-01-08
AEC938 HO Chak Kie 何澤基 RE Dealing in Securities 2003-04-01 2017-07-21
AEC938 HO Chak Kie 何澤基 RE Dealing in Futures Contracts 2013-04-02 2017-07-21
AEC938 HO Chak Kie 何澤基 RE Advising on Securities 2003-04-01 2004-04-17
AEC938 HO Chak Kie 何澤基 RE Advising on Corporate Finance 2003-04-01 2004-01-08
AEC938 HO Chak Kie 何澤基 RE Asset Management 2003-04-01 2004-01-08
AEE308 GOCO Allan Gilbert Lim RE Dealing in Securities 2003-04-16 2008-12-01
AEF253 CHAN Kwok Wai, Spencer 陳國偉 RE Dealing in Securities 2006-04-03 2013-08-07
AEF574 PANG Ka Yin 彭嘉賢 RE Dealing in Securities 2010-05-10 2018-02-06
AEH770 KWAN Yok Bing, Wendy 關玉冰 RE Dealing in Securities 2004-07-06 2006-05-30
AEI005 DASTE II Ferrell Emanuel RE Dealing in Securities 2005-10-13 2008-01-30
AEI011 CLEARY Matthew Dolan RE Dealing in Securities 2007-12-28 2008-06-30
AEL989 SUE Kenneth 蘇其暉 RO Dealing in Securities 2006-03-28 2006-06-27
AEL989 SUE Kenneth 蘇其暉 RE Dealing in Securities 2003-04-01 2006-03-28
AEL989 SUE Kenneth 蘇其暉 RE Advising on Securities 2003-04-01 2004-04-17
AEL989 SUE Kenneth 蘇其暉 RE Advising on Corporate Finance 2003-04-01 2004-01-08
AEL989 SUE Kenneth 蘇其暉 RE Asset Management 2003-04-01 2004-01-08
AEM184 GUPTA Pratik RE Dealing in Securities 2011-08-29
AEM242 WANG Rowena 王允慧 RO Advising on Corporate Finance 2012-03-02
AEM607 CHEUNG Wing Kei, Winnie 張詠琪 RE Dealing in Securities 2005-02-17 2008-12-05
AEM866 WOO Fong Fong, Janet 胡渢渢 RE Dealing in Securities 2003-04-01
AEM866 WOO Fong Fong, Janet 胡渢渢 RE Advising on Securities 2003-04-01 2004-04-16
AEM866 WOO Fong Fong, Janet 胡渢渢 RE Advising on Corporate Finance 2003-04-01 2004-01-08
AEM866 WOO Fong Fong, Janet 胡渢渢 RE Asset Management 2003-04-01 2004-01-08
AEN687 CHU Pak Ning, Patrick 朱柏寧 RE Dealing in Securities 2005-05-09 2010-04-24
AEO696 CHEN Chien-yao 陳建堯 RE Dealing in Securities 2007-03-05 2008-01-17
AEO780 CHANDLER Benjamin Victor Michael RE Dealing in Securities 2003-08-18 2011-03-30
AEO780 CHANDLER Benjamin Victor Michael RE Dealing in Futures Contracts 2004-06-24 2011-03-30
AEO780 CHANDLER Benjamin Victor Michael RE Providing Automated Trading Services 2010-06-23 2011-03-30
AEP413 LIEDTKE Boris Nikolaj RE Dealing in Securities 2003-04-01 2005-03-04
AEP413 LIEDTKE Boris Nikolaj RE Advising on Securities 2003-04-01 2004-04-16
AEP413 LIEDTKE Boris Nikolaj RE Asset Management 2003-04-01 2004-01-08
AEP413 LIEDTKE Boris Nikolaj RE Advising on Corporate Finance 2003-04-01 2004-01-08
AEP603 SUMMERFIELD David Angus RE Dealing in Securities 2018-11-02 2018-11-07
AEP603 SUMMERFIELD David Angus RE Dealing in Securities 2018-05-15 2018-05-18
AEP603 SUMMERFIELD David Angus RE Dealing in Securities 2017-11-13 2017-11-16
AEP603 SUMMERFIELD David Angus RE Dealing in Securities 2015-10-16 2015-10-20
AEP603 SUMMERFIELD David Angus RE Dealing in Securities 2015-06-15 2015-06-17
AEP603 SUMMERFIELD David Angus RE Dealing in Securities 2015-03-11 2015-03-13
AEP603 SUMMERFIELD David Angus RE Dealing in Securities 2014-05-05 2014-05-09
AEP603 SUMMERFIELD David Angus RE Dealing in Securities 2014-03-24 2014-03-28
AEP603 SUMMERFIELD David Angus RE Dealing in Securities 2013-08-20 2013-08-23
AEP603 SUMMERFIELD David Angus RE Dealing in Securities 2013-05-24 2013-05-28
AEP603 SUMMERFIELD David Angus RE Dealing in Securities 2012-11-06 2012-11-08
AEP603 SUMMERFIELD David Angus RE Dealing in Securities 2012-06-18 2012-06-19
AEP603 SUMMERFIELD David Angus RE Dealing in Securities 2012-03-27 2012-03-29
AEP603 SUMMERFIELD David Angus RE Dealing in Securities 2011-09-16 2011-09-20
AEP603 SUMMERFIELD David Angus RE Dealing in Securities 2011-02-22 2011-02-28
AEP603 SUMMERFIELD David Angus RE Dealing in Securities 2010-11-22 2010-11-26
AEP603 SUMMERFIELD David Angus RE Dealing in Securities 2010-04-22 2010-04-25
AEP603 SUMMERFIELD David Angus RE Dealing in Securities 2009-07-03 2009-07-08
AEP603 SUMMERFIELD David Angus RE Dealing in Securities 2008-03-25 2008-04-25
AEP603 SUMMERFIELD David Angus RE Dealing in Securities 2008-02-11 2008-02-18
AEP603 SUMMERFIELD David Angus RE Dealing in Securities 2007-10-08 2007-11-08
AEP603 SUMMERFIELD David Angus RE Advising on Corporate Finance 2003-04-01 2003-06-26
AEP603 SUMMERFIELD David Angus RE Dealing in Securities 2003-04-01 2003-06-26
AEP603 SUMMERFIELD David Angus RE Asset Management 2003-04-01 2003-06-26
AEP603 SUMMERFIELD David Angus RE Advising on Securities 2003-04-01 2003-06-26
AEQ086 LUK Yin Man 陸燕雯 RE Dealing in Securities 2008-08-27 2012-09-05
AES247 KONG Yan Yee Rita 江欣兒 RE Dealing in Securities 2003-04-01 2011-03-05
AES247 KONG Yan Yee Rita 江欣兒 RE Dealing in Futures Contracts 2004-06-24 2011-03-05
AES247 KONG Yan Yee Rita 江欣兒 RE Advising on Securities 2003-04-01 2004-04-16
AES247 KONG Yan Yee Rita 江欣兒 RE Advising on Corporate Finance 2003-04-01 2004-01-08
AES247 KONG Yan Yee Rita 江欣兒 RE Asset Management 2003-04-01 2004-01-08
AES843 KING Hubert Duncan 金汶椿 RE Advising on Securities 2003-04-01 2015-06-08
AES843 KING Hubert Duncan 金汶椿 RE Dealing in Securities 2003-04-01 2015-06-08
AES843 KING Hubert Duncan 金汶椿 RE Dealing in Futures Contracts 2006-06-09 2015-06-08
AES843 KING Hubert Duncan 金汶椿 RE Asset Management 2003-04-01 2004-01-08
AES843 KING Hubert Duncan 金汶椿 RE Advising on Corporate Finance 2003-04-01 2004-01-08
AEU332 CHANG Hui Na 張惠娜 RE Dealing in Securities 2003-04-01 2006-04-13
AEU332 CHANG Hui Na 張惠娜 RE Dealing in Futures Contracts 2004-06-24 2006-04-13
AEU332 CHANG Hui Na 張惠娜 RE Advising on Securities 2003-04-01 2004-04-16
AEU332 CHANG Hui Na 張惠娜 RE Advising on Corporate Finance 2003-04-01 2004-01-08
AEU332 CHANG Hui Na 張惠娜 RE Asset Management 2003-04-01 2004-01-08
AEW911 YU Bella Hoi Ying 余凱凝 RE Dealing in Securities 2004-03-09 2004-05-31
AEX047 TAN Guat Cheng Maureen RE Advising on Securities 2003-04-01 2008-02-22
AEX047 TAN Guat Cheng Maureen RE Asset Management 2003-04-01 2004-01-08
AEX047 TAN Guat Cheng Maureen RE Advising on Corporate Finance 2003-04-01 2004-01-08
AEX593 CHAN Edmund Wing Hong 陳永康 RE Dealing in Securities 2003-09-11 2011-06-30
AEX593 CHAN Edmund Wing Hong 陳永康 RE Dealing in Futures Contracts 2004-05-28 2011-06-30
AEX674 TAN Jushin Kenneth RE Dealing in Securities 2003-04-01 2005-01-07
AEX674 TAN Jushin Kenneth RE Advising on Securities 2003-04-01 2004-04-16
AEX674 TAN Jushin Kenneth RE Asset Management 2003-04-01 2004-01-08
AEX674 TAN Jushin Kenneth RE Advising on Corporate Finance 2003-04-01 2004-01-08
AEY560 HURST Richard Mark RE Dealing in Securities 2005-02-14 2007-04-21
AEY997 JEONG Joseph Chu RE Dealing in Securities 2003-10-31 2005-09-30
AEZ487 ALBRECHT Frank Oliver RE Dealing in Securities 2003-04-01 2004-07-28
AEZ487 ALBRECHT Frank Oliver RE Advising on Securities 2003-04-01 2004-04-17
AEZ487 ALBRECHT Frank Oliver RE Advising on Corporate Finance 2003-04-01 2004-01-08
AEZ487 ALBRECHT Frank Oliver RE Asset Management 2003-04-01 2004-01-08
AFC278 CHUE Chee Tang RE Dealing in Securities 2003-04-01 2009-01-01
AFC278 CHUE Chee Tang RE Advising on Securities 2003-04-01 2004-04-16
AFC278 CHUE Chee Tang RE Asset Management 2003-04-01 2004-01-08
AFC278 CHUE Chee Tang RE Advising on Corporate Finance 2003-04-01 2004-01-08
AFC401 WONG Lai Man 王麗雯 RE Dealing in Securities 2007-06-05 2015-06-01
AFC433 YEUNG Kei Yuen 楊紀元 RE Dealing in Securities 2006-06-08 2008-03-19
AFC781 CHENG Miu Ling 鄭妙玲 RE Advising on Corporate Finance 2003-04-01 2003-10-29
AFC781 CHENG Miu Ling 鄭妙玲 RE Asset Management 2003-04-01 2003-10-29
AFC781 CHENG Miu Ling 鄭妙玲 RE Advising on Securities 2003-04-01 2003-10-29
AFC781 CHENG Miu Ling 鄭妙玲 RE Dealing in Securities 2003-04-01 2003-10-29
AFE094 KOO Hung Yuan, Kevin 顧弘源 RE Dealing in Securities 2003-04-01 2005-04-27
AFE094 KOO Hung Yuan, Kevin 顧弘源 RE Dealing in Futures Contracts 2004-06-24 2005-04-27
AFE094 KOO Hung Yuan, Kevin 顧弘源 RE Advising on Securities 2003-04-01 2004-04-16
AFE094 KOO Hung Yuan, Kevin 顧弘源 RE Asset Management 2003-04-01 2004-01-08
AFE094 KOO Hung Yuan, Kevin 顧弘源 RE Advising on Corporate Finance 2003-04-01 2004-01-08
AFE956 NEO Chye Lian RE Dealing in Securities 2003-04-01 2006-12-31
AFE956 NEO Chye Lian RE Advising on Securities 2003-04-01 2004-04-17
AFE956 NEO Chye Lian RE Advising on Corporate Finance 2003-04-01 2004-01-08
AFE956 NEO Chye Lian RE Asset Management 2003-04-01 2004-01-08
AFF227 LI Pak Lin, Sandy 李白蓮 RE Advising on Securities 2003-04-01 2006-07-10
AFF227 LI Pak Lin, Sandy 李白蓮 RE Dealing in Securities 2003-04-01 2006-07-10
AFF227 LI Pak Lin, Sandy 李白蓮 RE Advising on Corporate Finance 2003-04-01 2004-01-08
AFF227 LI Pak Lin, Sandy 李白蓮 RE Asset Management 2003-04-01 2004-01-08
AFG800 MURPHY David James RE Advising on Futures Contracts 2009-09-14 2011-09-09
AFG800 MURPHY David James RE Dealing in Futures Contracts 2009-09-14 2011-09-09
AFG800 MURPHY David James RO Dealing in Securities 2010-04-28 2011-09-09
AFG800 MURPHY David James RO Advising on Securities 2010-04-28 2011-09-09
AFG800 MURPHY David James RE Dealing in Securities 2009-09-14 2010-04-28
AFG800 MURPHY David James RE Advising on Securities 2009-09-14 2010-04-28
AFH192 CHUI Chi-sun 徐志真 RE Dealing in Futures Contracts 2004-07-16 2005-08-30
AFH192 CHUI Chi-sun 徐志真 RE Dealing in Securities 2004-07-16 2005-08-30
AFJ245 LEPSOE Robert Christopher 洛泰思 RE Dealing in Securities 2007-09-19 2008-12-13
AFJ906 SADLER Simon Peter RO Dealing in Securities 2003-04-01 2004-05-10
AFJ968 COX Jason Ralph RE Advising on Corporate Finance 2016-04-21
AFM190 LAU Yen Hou, Alexander 劉恩浩 RE Dealing in Securities 2003-04-01 2006-06-05
AFM190 LAU Yen Hou, Alexander 劉恩浩 RE Advising on Securities 2003-04-01 2004-04-17
AFM190 LAU Yen Hou, Alexander 劉恩浩 RE Asset Management 2003-04-01 2004-01-08
AFM190 LAU Yen Hou, Alexander 劉恩浩 RE Advising on Corporate Finance 2003-04-01 2004-01-08
AFM321 SUN Cheuk Wa 孫卓華 RE Dealing in Securities 2005-07-06 2012-09-05
AFM599 NGIE Chuen Shun 倪傳順 RO Advising on Corporate Finance 2012-03-02
AFM847 CHOW Thomas 周少民 RE Dealing in Securities 2006-04-24 2008-08-30
AFP510 MIRPURI Joseph Gul RE Dealing in Securities 2005-07-21 2007-03-12
AFP510 MIRPURI Joseph Gul RE Advising on Securities 2005-07-21 2007-03-12
AFQ325 AVIS Stephane Louis Edmond RO Dealing in Securities 2014-04-11 2017-08-24
AFQ325 AVIS Stephane Louis Edmond RO Dealing in Futures Contracts 2014-04-11 2017-08-24
AFQ325 AVIS Stephane Louis Edmond RE Dealing in Futures Contracts 2013-07-05 2014-04-11
AFQ325 AVIS Stephane Louis Edmond RE Dealing in Securities 2013-07-05 2014-04-11
AFQ325 AVIS Stephane Louis Edmond RE Dealing in Securities 2013-04-23 2013-06-25
AFQ325 AVIS Stephane Louis Edmond RE Dealing in Futures Contracts 2013-04-23 2013-06-25
AFQ486 MA Sin Chi 馬善智 RO Dealing in Securities 2010-04-20 2012-01-06
AFQ486 MA Sin Chi 馬善智 RO Advising on Securities 2010-04-20 2012-01-06
AFQ486 MA Sin Chi 馬善智 RO Advising on Futures Contracts 2010-04-20 2012-01-06
AFQ486 MA Sin Chi 馬善智 RO Dealing in Futures Contracts 2010-04-20 2012-01-06
AFQ486 MA Sin Chi 馬善智 RE Dealing in Futures Contracts 2004-08-09 2010-04-20
AFQ486 MA Sin Chi 馬善智 RE Dealing in Securities 2004-08-09 2010-04-20
AFS526 WONG Timothy Tin Wai 黃天維 RE Dealing in Securities 2004-04-15 2008-09-18
AFS526 WONG Timothy Tin Wai 黃天維 RE Dealing in Futures Contracts 2006-06-08 2008-09-18
AFT499 TIFFIN Philip John RE Dealing in Securities 2010-09-27 2014-12-02
AFT499 TIFFIN Philip John RE Dealing in Futures Contracts 2010-09-27 2013-05-24
AFT499 TIFFIN Philip John RE Providing Automated Trading Services 2010-09-27 2013-03-06
AFT604 LAW Ernest Kwan Hon 羅君瀚 RE Dealing in Securities 2003-04-01 2004-08-16
AFT604 LAW Ernest Kwan Hon 羅君瀚 RE Advising on Securities 2003-04-01 2004-04-17
AFT604 LAW Ernest Kwan Hon 羅君瀚 RE Asset Management 2003-04-01 2004-01-08
AFT604 LAW Ernest Kwan Hon 羅君瀚 RE Advising on Corporate Finance 2003-04-01 2004-01-08
AFT822 STEPHENS John William RO Advising on Futures Contracts 2017-12-15
AFT822 STEPHENS John William RE Advising on Futures Contracts 2017-05-17 2017-12-15
AFT910 SAYER David Michael RE Dealing in Securities 2004-06-10 2005-09-12
AFT942 TSEA Po Kwan 謝寶君 RE Advising on Corporate Finance 2014-07-18 2017-07-07
AFU262 MITHRAN Girish RO Dealing in Futures Contracts 2014-04-22 2016-03-01
AFU262 MITHRAN Girish RO Dealing in Securities 2014-04-22 2016-03-01
AFU262 MITHRAN Girish RE Dealing in Futures Contracts 2012-06-26 2014-04-22
AFU262 MITHRAN Girish RE Dealing in Securities 2012-06-26 2014-04-22
AFU388 KWONG Marcus Mann 鄺孟芹 RE Dealing in Futures Contracts 2009-06-29
AFU388 KWONG Marcus Mann 鄺孟芹 RE Dealing in Securities 2009-06-29
AFU388 KWONG Marcus Mann 鄺孟芹 RE Providing Automated Trading Services 2010-06-23 2013-03-06
AFU718 WONG Yuen Ching 黃元正 RE Advising on Corporate Finance 2015-10-20
AFV353 FANG Chih-Shang 方至善 RE Advising on Securities 2007-04-11 2007-11-16
AFV353 FANG Chih-Shang 方至善 RE Dealing in Securities 2007-04-11 2007-11-16
AFW864 LAU Yin Chi, Stephanie 劉盈志 RE Providing Automated Trading Services 2012-06-04 2014-03-01
AFW864 LAU Yin Chi, Stephanie 劉盈志 RE Dealing in Securities 2012-06-04 2014-03-01
AFX502 CHEUNG Ka Che 張家熾 RE Dealing in Securities 2005-07-27 2009-06-24
AFX502 CHEUNG Ka Che 張家熾 RE Advising on Securities 2005-07-27 2009-06-24
AFX745 JAYCOCK Ian Richard RE Asset Management 2003-04-01 2004-01-08
AFX745 JAYCOCK Ian Richard RE Advising on Corporate Finance 2003-04-01 2004-01-08
AFX745 JAYCOCK Ian Richard RE Dealing in Securities 2003-04-01 2004-01-08
AFX745 JAYCOCK Ian Richard RE Advising on Securities 2003-04-01 2004-01-08
AFY697 NG Tao, Eddie 吳濤 RE Dealing in Futures Contracts 2017-07-10
AFY697 NG Tao, Eddie 吳濤 RE Dealing in Securities 2017-07-10
AFY704 CHONG Chyi Yiing Alyce RE Advising on Securities 2003-04-01 2006-04-05
AFY704 CHONG Chyi Yiing Alyce RE Dealing in Securities 2003-04-01 2006-04-05
AFY704 CHONG Chyi Yiing Alyce RE Asset Management 2003-04-01 2004-01-08
AFY704 CHONG Chyi Yiing Alyce RE Advising on Corporate Finance 2003-04-01 2004-01-08
AFY753 HO Daniel King Wah 何景華 RE Dealing in Futures Contracts 2004-08-02 2006-07-07
AFY753 HO Daniel King Wah 何景華 RE Dealing in Securities 2004-08-02 2006-07-07
AFY824 LAI King Chi 黎敬之 RO Advising on Corporate Finance 2013-07-29 2014-03-26
AFY824 LAI King Chi 黎敬之 RE Advising on Corporate Finance 2012-03-05 2013-07-29
AGB889 HUI Ho Kuen 許浩權 RE Dealing in Securities 2003-04-01 2007-05-19
AGB889 HUI Ho Kuen 許浩權 RE Advising on Securities 2003-04-01 2004-04-17
AGB889 HUI Ho Kuen 許浩權 RE Advising on Corporate Finance 2003-04-01 2004-01-08
AGB889 HUI Ho Kuen 許浩權 RE Asset Management 2003-04-01 2004-01-08
AGB890 SHAW Natalie Ann RE Advising on Corporate Finance 2003-04-01 2003-06-25
AGB890 SHAW Natalie Ann RE Advising on Securities 2003-04-01 2003-06-25
AGB890 SHAW Natalie Ann RE Dealing in Securities 2003-04-01 2003-06-25
AGB890 SHAW Natalie Ann RE Asset Management 2003-04-01 2003-06-25
AGD017 MANN Patrick William RE Dealing in Securities 2007-11-30 2007-12-30
AGD976 FREEMAN Daniel Marc RE Dealing in Securities 2007-08-21 2008-07-17
AGD976 FREEMAN Daniel Marc RE Dealing in Futures Contracts 2007-08-21 2008-07-17
AGE018 YAU Kwok Wing, Tony 邱國榮 RO Advising on Corporate Finance 2012-03-02 2016-12-07
AGE134 ANG Bee Leng RE Advising on Securities 2003-04-01 2008-06-05
AGE134 ANG Bee Leng RE Dealing in Securities 2003-04-01 2008-06-05
AGE134 ANG Bee Leng RE Advising on Corporate Finance 2003-04-01 2004-01-08
AGE134 ANG Bee Leng RE Asset Management 2003-04-01 2004-01-08
AGF152 LEE Yuan Tse, Edward 李淵智 RE Advising on Corporate Finance 2018-12-05
AGF152 LEE Yuan Tse, Edward 李淵智 RE Advising on Corporate Finance 2018-08-27 2018-11-26
AGF159 LAU Yue Che, Adam 劉宇池 RE Dealing in Securities 2007-04-02 2014-08-09
AGF159 LAU Yue Che, Adam 劉宇池 RE Dealing in Futures Contracts 2007-04-02 2008-04-02
AGH130 LI Chun, Elsy 李雋 RE Advising on Corporate Finance 2012-03-05 2014-08-13
AGH147 KWOK Ngan Ting, Isabella 郭雁婷 RE Dealing in Securities 2009-10-29 2018-05-08
AGH852 SIM Soo Yee, Sharon Anne RE Dealing in Securities 2003-04-01 2005-07-22
AGH852 SIM Soo Yee, Sharon Anne RE Advising on Securities 2003-04-01 2005-07-22
AGH852 SIM Soo Yee, Sharon Anne RE Asset Management 2003-04-01 2004-01-08
AGH852 SIM Soo Yee, Sharon Anne RE Advising on Corporate Finance 2003-04-01 2004-01-08
AGH928 WONG Yun Kit, Ingrid 黃欣潔 RE Dealing in Securities 2005-06-24 2009-04-01
AGJ649 NICHOLS David RE Advising on Securities 2003-04-01 2006-08-11
AGJ649 NICHOLS David RE Dealing in Securities 2003-04-01 2006-08-11
AGJ649 NICHOLS David RE Advising on Corporate Finance 2003-04-01 2004-01-08
AGJ649 NICHOLS David RE Asset Management 2003-04-01 2004-01-08
AGK088 NG Wing Sum, Agnes 吳詠芯 RE Advising on Securities 2004-10-14 2005-03-14
AGK114 MAC CARTHY Denis RO Dealing in Futures Contracts 2004-01-08 2009-12-11
AGK114 MAC CARTHY Denis RO Advising on Futures Contracts 2004-01-08 2009-12-11
AGK114 MAC CARTHY Denis RO Dealing in Securities 2004-11-25 2009-12-11
AGK114 MAC CARTHY Denis RO Advising on Securities 2009-03-27 2009-12-11
AGK114 MAC CARTHY Denis RE Dealing in Securities 2003-06-09 2004-11-25
AGL136 LI Zhifa 李志法 RE Advising on Corporate Finance 2012-03-05 2012-09-08
AGL150 KAPUR Kanak Kamal RE Dealing in Securities 2003-04-01 2006-12-28
AGL150 KAPUR Kanak Kamal RE Dealing in Futures Contracts 2004-06-24 2006-12-28
AGL150 KAPUR Kanak Kamal RE Advising on Securities 2003-04-01 2004-04-17
AGL150 KAPUR Kanak Kamal RE Asset Management 2003-04-01 2004-01-08
AGL150 KAPUR Kanak Kamal RE Advising on Corporate Finance 2003-04-01 2004-01-08
AGL793 EMERSON Nathan Devereux RE Asset Management 2003-04-01 2003-06-01
AGL793 EMERSON Nathan Devereux RE Advising on Corporate Finance 2003-04-01 2003-06-01
AGL793 EMERSON Nathan Devereux RE Dealing in Securities 2003-04-01 2003-06-01
AGL793 EMERSON Nathan Devereux RE Advising on Securities 2003-04-01 2003-06-01
AGL896 WHITFIELD Charles Bernard Francis 查韋斐 RE Dealing in Securities 2003-04-01 2006-05-09
AGL896 WHITFIELD Charles Bernard Francis 查韋斐 RE Advising on Securities 2003-04-01 2004-04-16
AGL896 WHITFIELD Charles Bernard Francis 查韋斐 RE Asset Management 2003-04-01 2004-01-08
AGL896 WHITFIELD Charles Bernard Francis 查韋斐 RE Advising on Corporate Finance 2003-04-01 2004-01-08
AGM902 YU Hiu To 余曉濤 RE Advising on Corporate Finance 2012-03-05 2012-06-15
AGN555 CHAN Pui Ching 陳佩貞 RE Advising on Securities 2005-01-25 2006-04-10
AGN574 ERRO Davide G. RE Dealing in Securities 2003-12-09 2005-04-25
AGN574 ERRO Davide G. RE Dealing in Futures Contracts 2004-06-24 2005-04-25
AGN600 NGUYEN Hoang-Nam Phan RE Dealing in Securities 2007-03-12 2008-08-09
AGN600 NGUYEN Hoang-Nam Phan RE Dealing in Futures Contracts 2007-03-12 2008-04-10
AGN692 WONG Ka Ku, Frankie 王加駒 RE Dealing in Securities 2007-05-17 2008-12-05
AGN786 QIN Jing 秦靖 RE Advising on Corporate Finance 2012-03-05 2013-02-09
AGN920 CHANG Michael Yio-how 張祐豪 RE Dealing in Securities 2006-07-10 2011-06-24
AGN920 CHANG Michael Yio-how 張祐豪 RE Dealing in Futures Contracts 2006-07-10 2011-06-24
AGO243 LEE Danny Yiu Fai 李耀輝 RO Advising on Corporate Finance 2012-05-03 2012-06-30
AGO243 LEE Danny Yiu Fai 李耀輝 RE Advising on Corporate Finance 2012-03-05 2012-05-03
AGO591 GUO Rui 郭睿 RE Advising on Corporate Finance 2012-03-05 2015-08-01
AGO822 PETER Edouard Fernen RO Advising on Securities 2003-04-01 2005-08-12
AGO822 PETER Edouard Fernen RO Dealing in Securities 2003-04-01 2005-08-12
AGO822 PETER Edouard Fernen RO Advising on Corporate Finance 2003-04-01 2004-01-08
AGO822 PETER Edouard Fernen RO Asset Management 2003-04-01 2004-01-08
AGO825 HARRIS Stephen Paul RO Advising on Securities 2003-04-01 2005-08-12
AGO825 HARRIS Stephen Paul RO Dealing in Securities 2003-04-01 2005-08-12
AGO825 HARRIS Stephen Paul RO Advising on Corporate Finance 2003-04-01 2004-01-08
AGO825 HARRIS Stephen Paul RO Asset Management 2003-04-01 2004-01-08
AGP513 PANDIT Ashok RO Advising on Corporate Finance 2012-03-02 2014-11-19
AGP529 LIU Hiu Lau 廖曉柳 RE Advising on Corporate Finance 2012-03-29 2013-10-12
AGP868 CHAKRAVORTY Ananda RE Advising on Corporate Finance 2012-03-05 2017-10-23
AGR372 ALEXANDER Michael Lewis RE Dealing in Securities 2003-04-01 2004-11-16
AGR372 ALEXANDER Michael Lewis RE Advising on Securities 2003-04-01 2004-04-16
AGR372 ALEXANDER Michael Lewis RE Asset Management 2003-04-01 2004-01-08
AGR372 ALEXANDER Michael Lewis RE Advising on Corporate Finance 2003-04-01 2004-01-08
AGU143 CHANG Yung Kang, Peter 張永康 RE Dealing in Securities 2004-07-13 2008-09-11
AGV336 CHAU Yiu Man, Kenneth 周耀文 RE Dealing in Securities 2003-04-01 2005-08-30
AGV336 CHAU Yiu Man, Kenneth 周耀文 RE Advising on Securities 2003-04-01 2004-04-17
AGV336 CHAU Yiu Man, Kenneth 周耀文 RE Asset Management 2003-04-01 2004-01-08
AGV336 CHAU Yiu Man, Kenneth 周耀文 RE Advising on Corporate Finance 2003-04-01 2004-01-08
AGV338 CHUNG Ji Young RE Advising on Securities 2003-04-01 2011-10-07
AGV338 CHUNG Ji Young RE Dealing in Securities 2003-04-01 2011-10-07
AGV338 CHUNG Ji Young RE Asset Management 2003-04-01 2004-01-08
AGV338 CHUNG Ji Young RE Advising on Corporate Finance 2003-04-01 2004-01-08
AGX675 FORD Melvyn Guy RE Dealing in Securities 2003-04-01 2003-11-18
AGX675 FORD Melvyn Guy RE Asset Management 2003-04-01 2003-10-27
AGX675 FORD Melvyn Guy RE Advising on Corporate Finance 2003-04-01 2003-10-27
AGX675 FORD Melvyn Guy RE Advising on Securities 2003-04-01 2003-10-27
AHA183 LEE Youn Wen RE Dealing in Securities 2003-04-01 2018-11-11
AHA183 LEE Youn Wen RE Advising on Securities 2003-04-01 2004-04-17
AHA183 LEE Youn Wen RE Asset Management 2003-04-01 2004-01-08
AHA183 LEE Youn Wen RE Advising on Corporate Finance 2003-04-01 2004-01-08
AHA185 LUI Sieu Weng, Gregory RE Advising on Securities 2003-04-01 2009-03-12
AHA185 LUI Sieu Weng, Gregory RE Asset Management 2003-04-01 2004-01-08
AHA185 LUI Sieu Weng, Gregory RE Advising on Corporate Finance 2003-04-01 2004-01-08
AHA574 SEE Buay Lan RE Advising on Securities 2003-04-01 2004-01-27
AHA574 SEE Buay Lan RE Dealing in Securities 2003-04-01 2004-01-27
AHA574 SEE Buay Lan RE Advising on Corporate Finance 2003-04-01 2004-01-08
AHA574 SEE Buay Lan RE Asset Management 2003-04-01 2004-01-08
AHA576 YOON Jerry Chan 尹燦 RE Dealing in Securities 2019-04-01
AHA576 YOON Jerry Chan 尹燦 RE Advising on Securities 2003-04-01 2004-04-01
AHA576 YOON Jerry Chan 尹燦 RE Dealing in Securities 2003-04-01 2004-04-01
AHA576 YOON Jerry Chan 尹燦 RE Asset Management 2003-04-01 2004-01-08
AHA576 YOON Jerry Chan 尹燦 RE Advising on Corporate Finance 2003-04-01 2004-01-08
AHA619 ALEXANDER Sean Philip 白影子 RE Dealing in Securities 2003-04-01 2006-02-28
AHA619 ALEXANDER Sean Philip 白影子 RE Advising on Securities 2003-04-01 2006-02-28
AHA619 ALEXANDER Sean Philip 白影子 RE Advising on Corporate Finance 2003-04-01 2004-01-08
AHA619 ALEXANDER Sean Philip 白影子 RE Asset Management 2003-04-01 2004-01-08
AHC183 ROTH Gunther James RE Advising on Corporate Finance 2012-03-29 2014-04-01
AHC197 TAY Mei Yuen RE Dealing in Securities 2007-10-15 2011-09-22
AHC197 TAY Mei Yuen RE Dealing in Securities 2003-04-01 2005-04-20
AHC197 TAY Mei Yuen RE Advising on Securities 2003-04-01 2004-04-16
AHC197 TAY Mei Yuen RE Asset Management 2003-04-01 2004-01-08
AHC197 TAY Mei Yuen RE Advising on Corporate Finance 2003-04-01 2004-01-08
AHC322 WU Henry Gang 吳剛 RE Dealing in Futures Contracts 2007-08-13 2009-10-14
AHC322 WU Henry Gang 吳剛 RE Dealing in Securities 2007-08-13 2009-10-14
AHC475 APABHAI Mohammed Zuned RE Dealing in Securities 2003-04-01 2006-06-26
AHC475 APABHAI Mohammed Zuned RE Advising on Securities 2003-04-01 2004-04-16
AHC475 APABHAI Mohammed Zuned RE Advising on Corporate Finance 2003-04-01 2004-01-08
AHC475 APABHAI Mohammed Zuned RE Asset Management 2003-04-01 2004-01-08
AHD684 CHEN Lan 陳嵐 RE Advising on Corporate Finance 2012-03-26 2017-05-25
AHF355 SMALLER Daniel Scott RE Dealing in Securities 2003-04-01 2005-06-09
AHF355 SMALLER Daniel Scott RE Advising on Securities 2003-04-01 2005-06-09
AHF355 SMALLER Daniel Scott RE Asset Management 2003-04-01 2004-01-08
AHF355 SMALLER Daniel Scott RE Advising on Corporate Finance 2003-04-01 2004-01-08
AHF464 CHAN Wai Chi 陳慧芝 RE Dealing in Securities 2005-03-21 2006-03-14
AHF765 BHAMMER Vishal Mahendra Kumar RE Dealing in Securities 2003-08-06 2005-05-25
AHF765 BHAMMER Vishal Mahendra Kumar RE Advising on Securities 2004-02-02 2005-05-25
AHF798 HAN William Wei-Lee RE Asset Management 2003-04-01 2003-10-15
AHF798 HAN William Wei-Lee RE Advising on Corporate Finance 2003-04-01 2003-10-15
AHF798 HAN William Wei-Lee RE Advising on Securities 2003-04-01 2003-10-15
AHF798 HAN William Wei-Lee RE Dealing in Securities 2003-04-01 2003-10-15
AHI788 WIJAYA Annie RE Dealing in Securities 2003-04-01 2006-04-24
AHI788 WIJAYA Annie RE Advising on Securities 2003-04-01 2004-04-17
AHI788 WIJAYA Annie RE Advising on Corporate Finance 2003-04-01 2004-01-08
AHI788 WIJAYA Annie RE Asset Management 2003-04-01 2004-01-08
AHL612 MIZOGUCHI Hironori RE Dealing in Securities 2004-04-13 2008-12-05
AHL612 MIZOGUCHI Hironori RE Advising on Securities 2004-04-13 2008-12-05
AHL733 KWOK Tak Kei, Dickie 郭德祺 RE Dealing in Securities 2003-04-01 2004-07-28
AHL733 KWOK Tak Kei, Dickie 郭德祺 RE Advising on Securities 2003-04-01 2004-04-16
AHL733 KWOK Tak Kei, Dickie 郭德祺 RE Asset Management 2003-04-01 2004-01-08
AHL733 KWOK Tak Kei, Dickie 郭德祺 RE Advising on Corporate Finance 2003-04-01 2004-01-08
AHQ348 HOSIE Neil Cameron RO Dealing in Securities 2009-03-26 2017-03-31
AHQ348 HOSIE Neil Cameron RO Advising on Securities 2009-05-13 2017-03-31
AHQ348 HOSIE Neil Cameron RO Providing Automated Trading Services 2010-04-16 2017-03-31
AHQ348 HOSIE Neil Cameron RE Dealing in Securities 2004-07-02 2009-03-26
AHQ837 LALLY Harprit Singh RE Dealing in Securities 2003-04-01 2005-10-01
AHQ837 LALLY Harprit Singh RE Dealing in Futures Contracts 2004-06-24 2005-10-01
AHQ837 LALLY Harprit Singh RE Advising on Securities 2003-04-01 2005-02-14
AHQ837 LALLY Harprit Singh RE Advising on Corporate Finance 2003-04-01 2004-01-08
AHQ837 LALLY Harprit Singh RE Asset Management 2003-04-01 2004-01-08
AHR321 COHEN-ADDAD Nicolas Paul RO Advising on Futures Contracts 2017-12-12 2018-10-14
AHR321 COHEN-ADDAD Nicolas Paul RO Dealing in Securities 2017-12-12 2018-10-14
AHR321 COHEN-ADDAD Nicolas Paul RO Advising on Securities 2017-12-12 2018-10-14
AHR321 COHEN-ADDAD Nicolas Paul RO Providing Automated Trading Services 2017-12-12 2018-10-14
AHR321 COHEN-ADDAD Nicolas Paul RO Dealing in Futures Contracts 2017-12-12 2018-10-14
AHR321 COHEN-ADDAD Nicolas Paul RE Providing Automated Trading Services 2017-06-20 2017-12-12
AHR321 COHEN-ADDAD Nicolas Paul RE Advising on Futures Contracts 2017-06-20 2017-12-12
AHR321 COHEN-ADDAD Nicolas Paul RE Dealing in Securities 2017-06-20 2017-12-12
AHR321 COHEN-ADDAD Nicolas Paul RE Advising on Securities 2017-06-20 2017-12-12
AHR321 COHEN-ADDAD Nicolas Paul RE Dealing in Futures Contracts 2017-06-20 2017-12-12
AHR672 TSAI Jack Du 蔡篤傑 RE Dealing in Securities 2006-05-29 2009-07-22
AHS154 PACHL Franz Michael RE Dealing in Securities 2003-04-01 2003-06-25
AHS154 PACHL Franz Michael RE Advising on Corporate Finance 2003-04-01 2003-06-25
AHS154 PACHL Franz Michael RE Advising on Securities 2003-04-01 2003-06-25
AHS154 PACHL Franz Michael RE Asset Management 2003-04-01 2003-06-25
AHU756 BARFORD Adrian Thomas RE Dealing in Securities 2004-05-11 2005-07-05
AHU756 BARFORD Adrian Thomas RE Dealing in Futures Contracts 2004-05-11 2005-07-05
AHX629 KAMAN Yashraj RE Advising on Corporate Finance 2012-03-05 2015-08-04
AHY083 LUI Chun Wai Jervis 呂俊為 RE Dealing in Securities 2003-11-14 2004-06-24
AHY083 LUI Chun Wai Jervis 呂俊為 RE Dealing in Futures Contracts 2004-03-30 2004-06-24
AIB112 SHEN Li Ang, Lyon 沈歷昂 RE Advising on Corporate Finance 2003-04-01 2003-07-10
AIB112 SHEN Li Ang, Lyon 沈歷昂 RE Asset Management 2003-04-01 2003-07-10
AIB112 SHEN Li Ang, Lyon 沈歷昂 RE Advising on Securities 2003-04-01 2003-07-10
AIB112 SHEN Li Ang, Lyon 沈歷昂 RE Dealing in Securities 2003-04-01 2003-07-10
AIB690 TSANG Ka Li 曾嘉莉 RE Dealing in Securities 2004-08-09 2012-01-10
AIB690 TSANG Ka Li 曾嘉莉 RE Advising on Securities 2005-05-18 2012-01-10
AIB930 YEOH David 姚崇照 RE Dealing in Securities 2003-04-01 2007-05-09
AIB930 YEOH David 姚崇照 RE Advising on Securities 2003-04-01 2004-04-17
AIB930 YEOH David 姚崇照 RE Asset Management 2003-04-01 2004-01-08
AIB930 YEOH David 姚崇照 RE Advising on Corporate Finance 2003-04-01 2004-01-08
AIB976 CHUY KON Alejandro Jose RE Dealing in Securities 2003-04-01 2007-04-14
AIB976 CHUY KON Alejandro Jose RE Advising on Securities 2003-04-01 2004-04-16
AIB976 CHUY KON Alejandro Jose RE Asset Management 2003-04-01 2004-01-08
AIB976 CHUY KON Alejandro Jose RE Advising on Corporate Finance 2003-04-01 2004-01-08
AIC041 LAU Karen Ga-yun 劉家欣 RE Dealing in Securities 2003-04-01 2007-03-12
AIC041 LAU Karen Ga-yun 劉家欣 RE Advising on Securities 2003-04-01 2004-04-16
AIC041 LAU Karen Ga-yun 劉家欣 RE Advising on Corporate Finance 2003-04-01 2004-01-08
AIC041 LAU Karen Ga-yun 劉家欣 RE Asset Management 2003-04-01 2004-01-08
AIC497 CHEN Scott RE Advising on Corporate Finance 2012-03-05 2013-12-17
AIC797 POON Philip Chung Hein 潘頌軒 RE Dealing in Securities 2004-07-13 2011-02-26
AIC797 POON Philip Chung Hein 潘頌軒 RE Dealing in Futures Contracts 2004-08-17 2011-02-26
AIG958 ARROWSMITH Natalie Jane RE Dealing in Securities 2003-08-14 2004-05-31
AIG958 ARROWSMITH Natalie Jane RE Advising on Corporate Finance 2003-04-01 2003-07-15
AIG958 ARROWSMITH Natalie Jane RE Advising on Securities 2003-04-01 2003-07-15
AIG958 ARROWSMITH Natalie Jane RE Dealing in Securities 2003-04-01 2003-07-15
AIG958 ARROWSMITH Natalie Jane RE Asset Management 2003-04-01 2003-07-15
AIH348 KIM Yong Chan 金容賛 RE Dealing in Securities 2003-04-01 2004-07-28
AIH348 KIM Yong Chan 金容賛 RE Advising on Securities 2003-04-01 2004-04-16
AIH348 KIM Yong Chan 金容賛 RE Advising on Corporate Finance 2003-04-01 2004-01-08
AIH348 KIM Yong Chan 金容賛 RE Asset Management 2003-04-01 2004-01-08
AIH625 WONG Ka Hong 黃家康 RE Dealing in Securities 2003-04-01 2004-09-24
AIH625 WONG Ka Hong 黃家康 RE Advising on Securities 2003-04-01 2004-04-16
AIH625 WONG Ka Hong 黃家康 RE Asset Management 2003-04-01 2004-01-08
AIH625 WONG Ka Hong 黃家康 RE Advising on Corporate Finance 2003-04-01 2004-01-08
AII261 TSE Jonathan Chung Hin 謝仲軒 RE Advising on Corporate Finance 2012-03-05 2018-06-29
AIJ129 HONEGGER Ricardo RO Dealing in Securities 2003-04-01 2006-01-01
AIJ129 HONEGGER Ricardo RO Advising on Securities 2005-05-31 2006-01-01
AIJ129 HONEGGER Ricardo RO Advising on Futures Contracts 2005-06-29 2006-01-01
AIJ129 HONEGGER Ricardo RO Dealing in Futures Contracts 2005-06-29 2006-01-01
AIJ815 LIM Ai Nar, Catherine 林愛娜 RE Advising on Corporate Finance 2003-04-01 2003-07-27
AIJ815 LIM Ai Nar, Catherine 林愛娜 RE Advising on Securities 2003-04-01 2003-07-27
AIJ815 LIM Ai Nar, Catherine 林愛娜 RE Asset Management 2003-04-01 2003-07-27
AIL062 FLETCHER Luke RE Dealing in Futures Contracts 2006-03-07 2007-04-25
AIL062 FLETCHER Luke RE Dealing in Securities 2006-03-07 2007-04-25
AIN756 HUREWITZ Joel Allan RE Dealing in Securities 2004-03-19 2006-03-22
AIN882 CHEUNG Kar Man 張嘉文 RE Dealing in Futures Contracts 2005-08-15 2008-05-24
AIN882 CHEUNG Kar Man 張嘉文 RE Dealing in Securities 2005-08-15 2008-05-24
AIP440 ABBAS Syed Asad RE Advising on Securities 2003-04-09 2009-10-22
AIP440 ABBAS Syed Asad RE Dealing in Securities 2003-04-09 2009-10-22
AIP440 ABBAS Syed Asad RE Dealing in Futures Contracts 2004-06-24 2009-10-22
AIP440 ABBAS Syed Asad RE Advising on Corporate Finance 2003-04-09 2004-01-08
AIP440 ABBAS Syed Asad RE Asset Management 2003-04-09 2004-01-08
AIR824 CHU Peter RE Dealing in Securities 2003-04-01 2004-04-07
AIR824 CHU Peter RE Advising on Securities 2003-04-01 2004-04-07
AIR824 CHU Peter RE Advising on Corporate Finance 2003-04-01 2004-01-08
AIR824 CHU Peter RE Asset Management 2003-04-01 2004-01-08
AIU326 FUNG Peter Yuk Kuen 馮旭乾 RE Dealing in Securities 2003-06-02 2011-03-10
AIU326 FUNG Peter Yuk Kuen 馮旭乾 RO Dealing in Futures Contracts 2010-06-07 2011-03-10
AIU326 FUNG Peter Yuk Kuen 馮旭乾 RO Advising on Futures Contracts 2010-06-07 2011-03-10
AIU326 FUNG Peter Yuk Kuen 馮旭乾 RE Dealing in Futures Contracts 2004-06-24 2010-06-07
AIU326 FUNG Peter Yuk Kuen 馮旭乾 RE Dealing in Securities 2003-04-01 2003-04-25
AIU326 FUNG Peter Yuk Kuen 馮旭乾 RE Advising on Corporate Finance 2003-04-01 2003-04-25
AIU326 FUNG Peter Yuk Kuen 馮旭乾 RE Asset Management 2003-04-01 2003-04-25
AIU326 FUNG Peter Yuk Kuen 馮旭乾 RE Advising on Securities 2003-04-01 2003-04-25
AIU376 CHEUNG Lee Na 張莉娜 RE Dealing in Securities 2003-05-05 2004-05-10
AIU376 CHEUNG Lee Na 張莉娜 RE Advising on Securities 2003-05-05 2004-02-02
AIU376 CHEUNG Lee Na 張莉娜 RE Asset Management 2003-05-05 2004-01-08
AIU376 CHEUNG Lee Na 張莉娜 RE Advising on Corporate Finance 2003-05-05 2004-01-08
AIU423 ROLAND Mathilde Suzanne RE Dealing in Securities 2004-08-06 2005-09-29
AIU423 ROLAND Mathilde Suzanne RE Dealing in Futures Contracts 2004-08-06 2005-09-29
AIU527 SZETO Carissa Carol 司徒加樂 RE Advising on Securities 2003-05-14 2007-11-07
AIU527 SZETO Carissa Carol 司徒加樂 RE Dealing in Securities 2003-05-14 2007-11-07
AIU527 SZETO Carissa Carol 司徒加樂 RE Asset Management 2003-05-14 2004-01-08
AIU527 SZETO Carissa Carol 司徒加樂 RE Advising on Corporate Finance 2003-05-14 2004-01-08
AIY949 DAWES Charlotte Victoria Sohpie RE Dealing in Securities 2003-05-20 2003-08-19
AIZ372 LEE Cora Oi Yan 李凱恩 RE Dealing in Securities 2007-06-14 2009-03-28
AIZ536 JAISINGH Rohit RE Dealing in Securities 2010-12-14 2012-04-16
AIZ536 JAISINGH Rohit RE Dealing in Securities 2010-11-08 2010-11-15
AIZ877 TRIVEDI Amit Mahendra RE Dealing in Securities 2003-06-03 2003-09-08
AJA485 OYSON Michaelangelo De Los Reyes RE Dealing in Securities 2003-10-24 2010-11-11
AJA485 OYSON Michaelangelo De Los Reyes RE Advising on Securities 2003-10-24 2010-11-11
AJB517 SOHN Seock Woo RE Dealing in Securities 2003-07-09 2004-04-23
AJB996 HENG Kia Mui 王加媚 RE Dealing in Securities 2003-07-31 2008-06-02
AJB996 HENG Kia Mui 王加媚 RE Advising on Securities 2004-02-02 2008-06-02
AJC179 FAN Mingxi 范明曦 RE Dealing in Securities 2003-07-29 2008-07-12
AJC877 LEPINAY Laurent Henri Francois RE Dealing in Securities 2003-08-12 2006-03-01
AJC877 LEPINAY Laurent Henri Francois RE Dealing in Futures Contracts 2004-06-24 2006-03-01
AJD184 WONG Kin Chung 黃健聰 RE Advising on Corporate Finance 2012-03-05 2012-03-13
AJD477 KENNEDY Frank RE Dealing in Securities 2003-08-25 2006-04-10
AJD477 KENNEDY Frank RE Dealing in Futures Contracts 2004-06-24 2006-04-10
AJD623 IZAWA Yukio RE Dealing in Securities 2003-09-02 2004-05-31
AJD624 CUBELLS Simon James RE Dealing in Securities 2003-09-02 2008-12-05
AJD624 CUBELLS Simon James RE Dealing in Futures Contracts 2004-06-24 2008-12-05
AJD743 MIN Brett Jae RE Dealing in Securities 2003-09-19 2005-10-10
AJD743 MIN Brett Jae RE Advising on Securities 2003-09-19 2005-10-10
AJD743 MIN Brett Jae RE Dealing in Futures Contracts 2004-06-24 2005-10-10
AJD992 DAIBO Atsuko RE Dealing in Securities 2003-09-16 2005-10-01
AJD992 DAIBO Atsuko RE Dealing in Futures Contracts 2004-06-24 2005-10-01
AJE393 CHI Rui 遲睿 RE Dealing in Securities 2014-10-22 2018-06-29
AJF240 MCCAFFERTY Gregory Dominic RE Dealing in Securities 2003-10-24 2006-11-22
AJF484 CONWAY Richard Wing RE Dealing in Securities 2008-07-14 2008-10-31
AJF484 CONWAY Richard Wing RE Dealing in Futures Contracts 2008-07-14 2008-10-31
AJF484 CONWAY Richard Wing RE Dealing in Securities 2003-11-04 2005-10-01
AJF484 CONWAY Richard Wing RE Dealing in Futures Contracts 2004-06-24 2005-10-01
AJF486 CONSTANTOPOULOS Agamemnon RE Dealing in Securities 2003-11-04 2005-07-07
AJF486 CONSTANTOPOULOS Agamemnon RE Dealing in Futures Contracts 2004-03-30 2005-07-07
AJG172 MIRPURI Vishal Nirmaldas RO Dealing in Securities 2012-02-17 2017-02-07
AJG172 MIRPURI Vishal Nirmaldas RO Dealing in Futures Contracts 2012-02-17 2017-02-07
AJG172 MIRPURI Vishal Nirmaldas RE Dealing in Futures Contracts 2010-05-10 2012-02-17
AJG172 MIRPURI Vishal Nirmaldas RE Dealing in Securities 2010-05-10 2012-02-17
AJG195 EDWARDS Shane Grant RE Dealing in Securities 2003-11-14 2005-08-30
AJH214 AONO Kikuko 青野希久子 RE Dealing in Securities 2003-12-09 2004-07-21
AJH214 AONO Kikuko 青野希久子 RE Dealing in Futures Contracts 2004-06-24 2004-07-21
AJH215 DUGGAN Luke Benjamin RE Dealing in Futures Contracts 2004-10-06 2005-05-03
AJH215 DUGGAN Luke Benjamin RE Dealing in Securities 2004-10-06 2005-05-03
AJH215 DUGGAN Luke Benjamin RE Dealing in Securities 2003-12-09 2004-08-20
AJH215 DUGGAN Luke Benjamin RE Dealing in Futures Contracts 2004-06-24 2004-08-20
AJH217 CHANG Haeyoon Aileen 張鏸允 RE Dealing in Securities 2003-12-15 2005-05-03
AJH217 CHANG Haeyoon Aileen 張鏸允 RE Dealing in Futures Contracts 2004-06-24 2005-05-03
AJH221 UEYAMA Satoshi 植山敏 RE Dealing in Securities 2003-12-09 2005-05-03
AJH221 UEYAMA Satoshi 植山敏 RE Dealing in Futures Contracts 2004-06-24 2005-05-03
AJH223 THACKER Sacha RE Dealing in Securities 2003-12-09 2005-04-25
AJH223 THACKER Sacha RE Dealing in Futures Contracts 2004-06-24 2005-04-25
AJH224 WOODS Duncan Robert RE Dealing in Securities 2003-12-09 2004-11-04
AJH224 WOODS Duncan Robert RE Dealing in Futures Contracts 2004-06-24 2004-11-04
AJI294 BACHER Ryan Rudolf RE Dealing in Securities 2003-12-18 2009-06-23
AJI294 BACHER Ryan Rudolf RE Dealing in Futures Contracts 2006-06-23 2009-06-23
AJI837 HON Sau Yee, Kenneth 韓守義 RO Advising on Futures Contracts 2011-06-02 2012-03-21
AJI837 HON Sau Yee, Kenneth 韓守義 RO Advising on Securities 2011-06-02 2012-03-21
AJI837 HON Sau Yee, Kenneth 韓守義 RO Dealing in Futures Contracts 2011-06-02 2012-03-21
AJI837 HON Sau Yee, Kenneth 韓守義 RO Dealing in Securities 2011-06-02 2012-03-21
AJI837 HON Sau Yee, Kenneth 韓守義 RE Dealing in Securities 2010-04-28 2011-06-02
AJI837 HON Sau Yee, Kenneth 韓守義 RE Dealing in Futures Contracts 2010-04-28 2011-06-02
AJJ615 CHAN Yuet Hang, Danny 陳悅恆 RE Dealing in Securities 2004-01-15 2011-05-14
AJK532 REEVES Andrew James RE Dealing in Securities 2004-01-26 2014-02-27
AJK532 REEVES Andrew James RE Dealing in Futures Contracts 2007-03-15 2014-02-27
AJK533 MICHALIK Thorsten RE Dealing in Securities 2008-08-14 2013-01-21
AJK533 MICHALIK Thorsten RE Dealing in Securities 2004-01-26 2006-03-01
AJK533 MICHALIK Thorsten RE Advising on Securities 2005-05-18 2006-03-01
AJL228 TSENG KUO Juan RE Dealing in Securities 2004-02-09 2004-09-11
AJL230 DAVIDGE-PITTS Mark Nicholas RE Dealing in Securities 2004-02-09 2007-08-01
AJL234 QUARMBY Thomas Edward RE Dealing in Futures Contracts 2007-01-25 2007-10-10
AJL234 QUARMBY Thomas Edward RE Dealing in Securities 2007-01-25 2007-10-10
AJL234 QUARMBY Thomas Edward RE Dealing in Securities 2004-02-09 2004-09-10
AJL237 LEE Frank I-J RE Dealing in Securities 2004-02-10 2007-11-15
AJL240 PRELLER Raoul Gustav RE Dealing in Securities 2004-02-09 2006-08-16
AJL240 PRELLER Raoul Gustav RE Dealing in Futures Contracts 2006-06-14 2006-08-16
AJL552 HOEPFFNER Edouard Yves Maurice Pierre RE Dealing in Securities 2004-02-24 2006-02-28
AJL554 CHEUNG Wendy Ho Ting 張皓婷 RE Dealing in Securities 2004-02-17 2006-03-17
AJL555 CRAIG-WOOD Christopher John RE Dealing in Securities 2004-02-12 2004-04-12
AJL556 NGAN Tsung Wen, Melody 顏瑽韻 RE Advising on Corporate Finance 2019-04-09
AJL850 RODGERS Charles Beresford RE Dealing in Securities 2004-02-14 2004-05-31
AJL908 LUI Thomas Ting Ching 雷廷禎 RE Dealing in Futures Contracts 2007-01-25 2008-12-05
AJL908 LUI Thomas Ting Ching 雷廷禎 RE Dealing in Securities 2007-01-25 2008-12-05
AJM691 TAN Geok Hua 陳玉華 RE Dealing in Securities 2004-02-26 2004-03-31
AJM704 SOMERA Ved Kavi RE Dealing in Securities 2004-10-14 2006-02-01
AJM704 SOMERA Ved Kavi RE Dealing in Securities 2004-02-25 2004-10-02
AJN346 SARKIS David RO Dealing in Futures Contracts 2004-06-01 2005-07-07
AJN346 SARKIS David RO Advising on Futures Contracts 2004-06-01 2005-07-07
AJN346 SARKIS David RE Dealing in Securities 2005-01-10 2005-07-07
AJN346 SARKIS David RO Dealing in Securities 2004-06-01 2005-01-10
AJN346 SARKIS David RE Dealing in Securities 2004-03-05 2004-06-01
AJN963 CHAN Yick Kei 陳奕祺 RE Advising on Corporate Finance 2012-03-05 2015-01-21
AJO309 BURROWS Nathan Wesley RE Dealing in Securities 2004-03-19 2007-04-06
AJO309 BURROWS Nathan Wesley RE Dealing in Futures Contracts 2004-06-30 2007-04-06
AJX187 ZHANG Anzhi 張安志 RO Advising on Corporate Finance 2012-03-02 2018-07-05
AKI542 CRAWFORD Adam John Sharman RE Dealing in Securities 2004-04-13 2006-11-30
AKI550 TSENG Tzu Wen, Maryann 曾慈雯 RE Dealing in Securities 2009-08-25 2010-05-31
AKI626 IP Yau Lung 葉游龍 RE Dealing in Futures Contracts 2007-08-20 2011-02-09
AKI626 IP Yau Lung 葉游龍 RE Dealing in Securities 2007-08-20 2011-02-09
AKJ144 RICHMOND Blair James RE Dealing in Securities 2004-04-20 2008-01-01
AKJ144 RICHMOND Blair James RE Dealing in Futures Contracts 2006-06-14 2008-01-01
AKJ245 GUAN Zheng Michael 管征 RE Advising on Corporate Finance 2017-07-03
AKO627 HSIA Michael Chinsom 夏俊生 RE Dealing in Securities 2004-05-05 2005-05-03
AKP276 CORRY Nicolas Daniel RE Dealing in Securities 2006-03-07 2008-09-01
AKP276 CORRY Nicolas Daniel RE Dealing in Futures Contracts 2006-03-07 2008-09-01
AKP468 ZUO Jie 左杰 RE Dealing in Securities 2004-05-19 2005-03-14
AKP468 ZUO Jie 左杰 RE Dealing in Futures Contracts 2004-07-15 2005-03-14
AKP805 PAK Quentin 白熲棠 RE Dealing in Securities 2004-05-24 2006-05-31
AKS659 LEE Jae Young RE Dealing in Securities 2004-06-02 2006-08-29
AKT391 WOOD Graham Douglas RE Dealing in Securities 2004-06-07 2011-06-07
AKT391 WOOD Graham Douglas RE Dealing in Futures Contracts 2008-10-27 2011-06-07
AKT480 GARG Manish RE Dealing in Securities 2004-06-07 2006-09-01
AKU303 ZHOU Zhi 周知 RE Advising on Corporate Finance 2012-03-05 2012-10-16
AKV093 CALVERT Piers Henry RE Dealing in Securities 2004-06-17 2004-08-16
AKW695 SINNATHURAY Chandra Raj RE Dealing in Futures Contracts 2007-06-12 2009-11-23
AKW695 SINNATHURAY Chandra Raj RE Dealing in Securities 2007-06-12 2009-11-23
AKX345 TWOMEY Harvey Noel RE Dealing in Securities 2014-06-06 2017-09-01
AKX345 TWOMEY Harvey Noel RE Providing Automated Trading Services 2010-06-23 2015-02-03
AKX345 TWOMEY Harvey Noel RE Dealing in Futures Contracts 2014-06-06 2015-02-03
AKX345 TWOMEY Harvey Noel RO Dealing in Securities 2013-12-03 2014-06-06
AKX345 TWOMEY Harvey Noel RO Dealing in Futures Contracts 2013-12-03 2014-06-06
AKX345 TWOMEY Harvey Noel RE Dealing in Securities 2008-05-02 2013-12-03
AKX345 TWOMEY Harvey Noel RE Dealing in Futures Contracts 2008-05-02 2013-12-03
AKX681 AZZI Daniel W RE Dealing in Securities 2004-07-13 2006-08-11
AKX681 AZZI Daniel W RE Dealing in Futures Contracts 2006-06-20 2006-08-11
AKY104 MENDES Carlos Juan D'Oliveira RE Dealing in Securities 2006-11-21 2009-07-14
AKY468 YONGKITTIKUL Kittiphongse 馬俊琦 RE Dealing in Futures Contracts 2004-07-19 2006-12-31
AKY468 YONGKITTIKUL Kittiphongse 馬俊琦 RE Dealing in Securities 2004-07-19 2006-12-31
AKY943 CHAN Koon Shing, Dominic 陳冠成 RE Dealing in Securities 2007-03-22 2008-05-16
ALA499 WONG Tsz Kin 王子健 RE Dealing in Securities 2004-12-16 2013-02-01
ALA499 WONG Tsz Kin 王子健 RE Advising on Securities 2005-05-18 2013-02-01
ALA688 CHUNG Ho Fai, Derek 鍾晧輝 RO Advising on Corporate Finance 2017-04-26
ALA688 CHUNG Ho Fai, Derek 鍾晧輝 RE Advising on Corporate Finance 2016-11-10 2017-04-26
ALB271 FAN Shaoli 范少立 RE Advising on Corporate Finance 2012-03-05
ALB798 BAMBER Mark RE Dealing in Securities 2014-11-14 2014-11-19
ALB798 BAMBER Mark RE Dealing in Securities 2013-03-08 2013-03-15
ALB798 BAMBER Mark RE Dealing in Securities 2004-08-09 2005-10-01
ALB798 BAMBER Mark RE Dealing in Futures Contracts 2004-08-09 2005-10-01
ALB938 LI Zongyi 李宗沂 RE Dealing in Securities 2004-08-12 2007-08-29
ALC214 TAN Choon Wah 陳俊華 RE Dealing in Securities 2007-06-06 2008-12-05
ALD194 WELCH Thomas Andrew RO Advising on Securities 2009-08-17 2010-05-21
ALD194 WELCH Thomas Andrew RO Dealing in Securities 2009-08-17 2010-05-21
ALD194 WELCH Thomas Andrew RO Providing Automated Trading Services 2010-04-16 2010-05-21
ALD194 WELCH Thomas Andrew RE Dealing in Securities 2007-08-15 2009-08-17
ALD507 YANG Yu 楊煜 RE Dealing in Securities 2004-08-25 2005-03-29
ALD507 YANG Yu 楊煜 RE Advising on Securities 2004-08-25 2005-03-29
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ALI346 BEATTIE Russell William RE Dealing in Futures Contracts 2007-05-14 2007-09-14
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ALK219 MACDONALD Matthew Douglas RE Dealing in Futures Contracts 2006-07-24 2009-08-11
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ALU162 CHAN Chieh-mi RE Advising on Securities 2009-04-02 2009-07-01
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ALU162 CHAN Chieh-mi RO Dealing in Futures Contracts 2005-11-22 2009-04-23
ALU162 CHAN Chieh-mi RO Advising on Securities 2005-11-22 2009-04-02
ALU162 CHAN Chieh-mi RO Dealing in Securities 2005-11-22 2009-04-02
ALU162 CHAN Chieh-mi RO Advising on Futures Contracts 2005-11-22 2009-04-02
ALU162 CHAN Chieh-mi RE Dealing in Securities 2005-03-09 2005-11-22
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ALV256 TEI Mei Lun Miranda 戴美倫 RE Dealing in Futures Contracts 2007-01-10 2007-07-16
ALV256 TEI Mei Lun Miranda 戴美倫 RE Dealing in Securities 2005-03-22 2005-04-22
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ALW173 CHUNG Richard RE Dealing in Securities 2005-04-01 2005-12-10
ALW173 CHUNG Richard RE Dealing in Futures Contracts 2005-04-01 2005-12-10
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ALW335 HEIM Gunter Thomas RE Dealing in Securities 2005-04-06 2005-05-05
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ALZ310 JANJUSEVIC Miodrag RE Dealing in Securities 2008-04-23 2009-02-05
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AMC205 KELLY Patrick Cahill RE Dealing in Futures Contracts 2013-06-10 2013-12-27
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AMK250 DONLEY Charles John RE Dealing in Futures Contracts 2007-10-12 2010-01-01
AMK250 DONLEY Charles John RO Dealing in Securities 2007-04-12 2007-10-12
AMK250 DONLEY Charles John RO Dealing in Futures Contracts 2007-04-12 2007-10-12
AMK250 DONLEY Charles John RE Dealing in Securities 2005-08-31 2007-04-12
AMK250 DONLEY Charles John RE Dealing in Futures Contracts 2005-08-31 2007-04-12
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AMO544 SUN Richard Li-ren 孫立人 RE Advising on Corporate Finance 2012-03-05 2012-09-06
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AMR653 IMMEL Andreas Wolfram Peter RE Dealing in Securities 2009-07-31 2009-10-31
AMR665 OW Shin Yeuan 歐欣遠 RE Dealing in Securities 2007-07-31 2011-05-14
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AMS611 SONI Ajay RE Dealing in Securities 2005-11-21 2006-06-23
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AMU521 SHALABI Hani Youssef RO Providing Automated Trading Services 2018-01-29
AMU521 SHALABI Hani Youssef RE Providing Automated Trading Services 2017-08-21 2018-01-29
AMU521 SHALABI Hani Youssef RE Dealing in Futures Contracts 2017-08-21 2018-01-29
AMU521 SHALABI Hani Youssef RE Dealing in Securities 2017-08-21 2018-01-29
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AMX120 WONG Lai Fong, Serina 黃麗芳 RE Dealing in Securities 2008-08-05 2009-02-28
AMX120 WONG Lai Fong, Serina 黃麗芳 RE Dealing in Futures Contracts 2008-08-05 2009-02-28
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ANA916 PARAMESWARAN Srikant RE Dealing in Securities 2008-05-13 2008-12-16
ANB378 CHANDAK Dhiraj RE Dealing in Securities 2006-02-20
ANB385 LEONARD Neil Angus James RE Dealing in Securities 2006-02-20 2012-09-05
ANB385 LEONARD Neil Angus James RE Dealing in Futures Contracts 2012-01-30 2012-09-05
ANB389 LI Kathleen Ka-Lam 李嘉琳 RE Dealing in Securities 2007-05-22 2007-07-28
ANB389 LI Kathleen Ka-Lam 李嘉琳 RE Dealing in Securities 2006-02-20 2006-09-27
AND181 DENG Rong 鄧嶸 RE Dealing in Futures Contracts 2006-03-01 2008-06-24
AND181 DENG Rong 鄧嶸 RE Dealing in Securities 2006-03-01 2008-06-24
ANE006 NG Kut Yin, Jeffrey 吳吉然 RE Dealing in Securities 2006-03-09 2009-04-15
ANE006 NG Kut Yin, Jeffrey 吳吉然 RE Dealing in Futures Contracts 2006-04-20 2009-04-15
ANE094 LEE Min Hee 李敏禧 RE Dealing in Securities 2008-04-28 2008-11-05
ANE702 ASKAR Kamel RE Dealing in Securities 2006-03-15 2011-01-27
ANG128 GIBB Richard Boyce Massey RO Advising on Corporate Finance 2017-05-08
ANG128 GIBB Richard Boyce Massey RE Advising on Corporate Finance 2017-01-26 2017-05-08
ANG872 POON Pui Sze 潘佩詩 RE Dealing in Securities 2006-04-11 2006-06-22
ANH003 CHAN Yuk Shan 陳玉珊 RE Dealing in Securities 2006-04-11 2007-12-31
ANH083 EL HICHERI Fayez RE Dealing in Securities 2007-08-23 2009-05-12
ANH083 EL HICHERI Fayez RE Dealing in Futures Contracts 2007-08-23 2009-05-12
ANI909 TAO Nina Chih-Yu 陶芝宇 RE Dealing in Securities 2006-05-08 2008-07-14
ANJ469 FRANKO Elie Jean RE Dealing in Securities 2006-05-10 2007-03-26

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